Article 02 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 45.56.300 - Broker-dealer registration requirement and exemptions
- Section 45.56.310 - Limited registration of Canadian broker-dealers and agents
- Section 45.56.320 - Registration exemption for merger and acquisition broker
- Section 45.56.330 - Agent registration requirement and exemptions
- Section 45.56.340 - Investment adviser registration requirement and exemptions
- Section 45.56.350 - Investment adviser representative registration requirement and exemptions
- Section 45.56.360 - Federal covered investment adviser notice filing requirement
- Section 45.56.370 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Section 45.56.380 - Succession and change in registration of broker-dealer or investment adviser
- Section 45.56.390 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- Section 45.56.400 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
- Section 45.56.410 - Fees
- Section 45.56.420 - Post registration requirements
- Section 45.56.430 - Protecting older and vulnerable adults from financial exploitation
- Section 45.56.440 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration